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Compliance Specialist/AVP

  • Location:


  • Sector:

    Risk & Compliance

  • Job type:


  • Salary:


  • Contact:

    Leonard Lim

  • Contact email:

  • Job ref:


  • Published:

    18 giorni fa

  • Expiry date:


  • Startdate:


My client is a leading Insurer in Singapore. We are looking a Compliance Specialist to perform Pre Transaction Checks reviews with assessment criteria in the Risk Management & Compliance team.

Key Responsibilities

- Obtain daily sampling download from Operations (daily FNA/ EFP submissions)

- Identify incomplete FF and unsuitable/ incorrect products against client's needs, inadequate documentation and weak basis of advice.

- Identify incorrect application of ORAS and obsolete ORAS vs client's needs.

- Present daily/ weekly and monthly findings to team lead, highlighting material inconsistencies and failed EFNA.


- Relevant professional qualifications or relevant experience in Compliance/BSC/PTC.

- An in depth understanding of the risk and governance drivers of insurance/financial advisory industry

- Experience of working in a business going through continuous upgrading, change and growth.

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